DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
A••••• C•••••• U••• I•••
Latest filing Mar 26, 2024
First filing on the tape Nov 3, 2021 · 7 filings
RAUM
$29.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$29.4M gross assets
History
7 filings and snapshots on the tape
RAUM$29.4M as of Mar 26, 2024
Mar 30, 2022$46.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2024
Mar 30, 20220 then
Employees (5.A)4 as of Mar 26, 2024
Mar 30, 20224 then
Private funds1 as of Mar 26, 2024
Mar 30, 20221 then
RAUM -8.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $29.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $29.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $16.2M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$29.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• S•••••••• F••• L• | Private Equity Fund | $29.4M | 2 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- D•• R••• J••• L••• · Chief Executive Officercontrolsince 02/2014 · owns less than 5%
- T••••••••• C••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- D• R••••••• S•••••••• A••••• · Membercontrolsince 02/2008 · owns 25% to 50% of G••••••••• S•••
Entity owners
- A••••• C•••••• A•••••••• S••• · Ownerdirect · owns 75% or more
- A••••• A••••••• F••••••••• S••• · Shareholderindirect · owns 75% or more of A••••• C•••••• A•••••••• S•••
- G••••••••• S••• · Shareholderindirect · owns 25% to 50% of A••••• A••••••• F••••••••• S•••
Related persons
Schedule D 7.A
- A••••• C•••••• A•••••••• S•••investment advisery
- A••••• C•••••• S•••• S•pooled vehicle sponsorn
- A••••• S•••••••• F••• G• L••pooled vehicle sponsory
- A••••• V•••••• A• S•broker-dealern
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Assets in custody · $18.6M to $16.2MMar 29, 2023 to Mar 26, 2024
- Discretionary RAUM · $32.3M to $29.4MMar 29, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $32.3M to $29.4MMar 29, 2023 to Mar 26, 2024
- RAUM · $32.3M to $29.4MMar 29, 2023 to Mar 26, 2024
- Advisory activities · 1 to 2Feb 15, 2023 to Mar 29, 2023
- Assets in custody · $29.9M to $18.6MFeb 15, 2023 to Mar 29, 2023
- State-registered IARs · 0 to 1Feb 15, 2023 to Mar 29, 2023
- Discretionary RAUM · $46.2M to $32.3MFeb 15, 2023 to Mar 29, 2023
- Pooled vehicle RAUM · $46.2M to $32.3MFeb 15, 2023 to Mar 29, 2023
- RAUM · $46.2M to $32.3MFeb 15, 2023 to Mar 29, 2023
- HQ city · NEW YORK to NEWPORT BEACHSep 15, 2022 to Feb 15, 2023
- HQ state · NY to CASep 15, 2022 to Feb 15, 2023
- Other offices · 0 to 1Sep 15, 2022 to Feb 15, 2023
- Accounts · 0 to 1Nov 3, 2021 to Mar 30, 2022
- Pooled vehicle clients · unset to 1.0Nov 3, 2021 to Mar 30, 2022
- Assets in custody · unset to 29914444.0Nov 3, 2021 to Mar 30, 2022
- Custody of client assets · false to trueNov 3, 2021 to Mar 30, 2022
- Private funds · 3 to 1Nov 3, 2021 to Mar 30, 2022
- Discretionary RAUM · $0 to $46.2MNov 3, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · unset to 46231776.0Nov 3, 2021 to Mar 30, 2022
- RAUM · $0 to $46.2MNov 3, 2021 to Mar 30, 2022
- Related broker-dealer · false to trueNov 3, 2021 to Mar 30, 2022
Signals
1 dated events
- A••••• C•••••• U••• I••• filed its initial SEC registration (Form ADV)Nov 3, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••• C•••••• U••• I••• · Independent Sponsorsshared crd · capital_provider
- A••••• C•••••• U••• I••• · Private Equityshared crd · organization
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026